Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance Greater New York City, NY Area + 2 more

The Company is seeking a Senior Vice President, Associate General Counsel with a focus on broker-dealer regulatory compliance. The successful candidate will be a key leader in the corporate legal advice team, providing strategic legal and regulatory guidance for the company's broker-dealer and advisory platforms. This role involves advising on a wide range of legal and compliance matters, including but not limited to, federal, state, and SRO regulatory compliance, enforcement defense, and legal risks impacting brokerage and investment advisory activities. The ideal candidate will have a minimum of 10 years' of relevant experience, with a strong background in the financial services industry, particularly in the areas of broker-dealer and retail investment advisory businesses. Key responsibilities for this position include leading a team of experienced attorneys, managing a substantial legal docket, and collaborating with various business units to ensure compliance with applicable rules and regulations. The role also requires the ability to provide strategic counsel on M&A transactions, regulatory approval processes, and emerging areas such as AI-enabled advice tools and digital assets. The candidate should be recognized as a trusted advisor in complex, highly regulated environments, and have a proven track record of leading and developing high-performing legal teams. Core competencies for this role include strategic judgment, executive presence, influence without authority, and a commercial mindset.

Hiring Company

LPL Financial